[Federal Register Volume 66, Number 60 (Wednesday, March 28, 2001)]
[Proposed Rules]
[Pages 16897-16900]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-7613]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 11

[EB Docket No. 01-66; FCC 01-88]


Emergency Alert System

AGENCY: Federal Communications Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: This document proposes various revisions to the rules 
regarding the Emergency Alert System (EAS) and also seeks comment on 
requested revisions to the rules set forth in petitions for rulemaking 
filed by the National Weather Service (NWS) and the Society of 
Broadcast Engineers (SBE).

DATES: Comments are due June 11, 2001, and reply comments are due July 
11, 2001.

ADDRESSES: Send comments and reply comments to the Office of the 
Secretary, Federal Communications Commission, 445 12th Street, SW., 
Room TW-A325, Washington, DC 20554. Comments may also be filed 
electronically using the Commission's Electronic Comment Filing System 
(ECFS). Comments filed through the ECFS can be sent as an electronic 
file via the internet to http://www.fcc.gov/e-file/ecfs.html.

FOR FURTHER INFORMATION CONTACT: Kathy Berthot, Enforcement Bureau, 
Technical and Public Safety Division, at (202) 418-7454.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
of Proposed Rulemaking (NPRM), FCC 01-88, in EB Docket No. 01-66, 
adopted on March 13, 2001, and released on March 20, 2001. The complete 
text of this NPRM is available for inspection and copying during normal 
business hours in the FCC Reference Information Center, 445 12th 
Street, SW., Room CY-A257, Washington, DC, and may be purchased from 
the Commission's copy contractor, International Transcription Services, 
Inc., 445 12th Street, SW., Room CY-B400, Washington, DC, (202) 857-
3800. The complete text may also be downloaded from the Commission's 
internet site at http://www.fcc.gov.

I. Synopsis of the Notice of Proposed Rulemaking

    1. In this NPRM, the Commission proposes revisions to part 11 of 
the rules regarding the EAS and also seeks comment on requested 
revisions to the part 11 rules set forth in petitions for rulemaking 
filed by the NWS and the SBE.
    2. The Commission proposes to amend part 11 to: (1) Increase the 
relay window within which Required Monthly Tests of the EAS must be 
retransmitted from 15 minutes to 60 minutes; (2) reduce the required 
modulation level of EAS codes from 80% to 50% of full channel 
modulation limits; (3) delete references to the Emergency Action 
Notification network, which was eliminated in 1995 in accordance with a 
directive from President Clinton to the Director of the Federal 
Emergency Management Agency; and (4) eliminate the requirement that 
international High Frequency broadcast stations purchase and install 
EAS equipment.
    3. The Commission seeks comment on requests that we amend the list 
of state and local EAS event codes to add new event codes for emergency 
conditions not included in the current list; amend the list of location 
codes to add new location codes to cover marine areas; and adopt a 
naming convention for state and local event codes. A complete listing 
of the requested additions to the lists of EAS event codes and location 
codes can be found in Appendix A and Appendix B of the NPRM. As an 
alternative to amending the lists of State and local event codes and 
location codes, the Commission seeks comment on whether we should amend 
part 11 to provide that any modifications to existing authorized EAS 
equipment that are necessary to implement revisions in EAS codes are 
Class I permissive changes which do not require a new application for 
and grant of certification by the Commission. Under this alternative, 
additional State and local event and location codes could be developed 
directly by State and local officials, broadcasters and cable 
operators, equipment manufacturers and other interested parties. The 
use of these additional codes and the equipment needed to access them 
would be implemented on a permissive basis as determined by the 
specific needs and interests of the local area participants.
    4. The Commission also seeks comment on requests that we add a 
protocol for text transmission of EAS messages; permit the carriage of 
audio of Presidential EAS messages from non-EAS sources; and permit 
equipment manufacturers to include an optional feature in EAS equipment 
that would afford EAS users the capability to select only certain 
received EAS messages for processing.

[[Page 16898]]

II. Administrative Matters

A. Initial Regulatory Flexibility Analysis

    5. This is a summary of the Initial Regulatory Flexibility Analysis 
(IRFA) in the NPRM. The full text of the IRFA can be found in Appendix 
C of the NPRM.
    6. As required by the Regulatory Flexibility Act (RFA), the 
Commission has prepared this IRFA of the possible significant economic 
impact on small entities by the policies and rules proposed in this 
NPRM. 5 U.S.C. 603. The RFA, 5 U.S.C. 601 et seq., has been amended by 
the Contract With America Advancement Act of 1996, Public Law No. 104-
121, 110 Stat. 847 (1996) (CWAAA). Title II of the CWAAA is the Small 
Business Regulatory Fairness Enforcement Act of 1996. Written public 
comments are requested on this IRFA. Comments must be identified as 
responses to the IRFA and must be filed by the deadlines for comments 
on the NPRM. The Commission will send a copy of the NPRM, including 
this IRFA, to the Chief Counsel for Advocacy of the Small Business 
Administration.
    7. Need for, and Objectives of, the Proposed Rules. In this NPRM, 
the Commission proposes various revisions to the part 11 rules 
governing the EAS and seeks comment on requested revisions to the part 
11 rules set forth in petitions for rulemaking filed by the NWS and the 
SBE. The requested revisions are intended to enhance the capabilities 
of EAS equipment, reduce burdens on EAS participants, and improve the 
overall performance of the EAS.
    8. Legal Basis. Authority for the actions proposed in this NPRM may 
be found in Sections 1, 4(i) and (o), 303(r), 624(g) and 706 of the 
Communications Act of 1934, as amended, 47 U.S.C. 151, 154(i) and (o), 
303(r), 554(g) and 606.
    9. Description and Estimate of the Number of Small Entities to 
Which the Proposed Rules Will Apply. The RFA generally defines the term 
``small entity'' as having the same meaning as the terms ``small 
business,'' ``small organization,'' and ``small governmental 
jurisdiction.'' In addition, the term ``small business'' has the same 
meaning as the term ``small business concern'' under the Small Business 
Act. A small business concern is one which: (1) Is independently owned 
and operated; (2) is not dominant in its field of operation; and (3) 
satisfies any additional criteria established by the Small Business 
Administration (SBA). A small organization is generally ``any not-for-
profit enterprise which is independently owned and operated and is not 
dominant in its field.'' Nationwide, as of 1992, there were 
approximately 275,801 small organizations. ``Small governmental 
jurisdiction'' generally means ``governments of cities, counties, 
towns, townships, villages, school districts, or special districts, 
with a population of less than 50,000.'' As of 1992, there were 
approximately 85,006 such jurisdictions in the United States. This 
number includes 38,978 counties, cities, and towns; of these, 37,566, 
or 96 percent, have populations of fewer than 50,000. The Census Bureau 
estimates that this ratio is approximately accurate for all 
governmental entities. Thus, of the 85,006 governmental entities, we 
estimate that 81,600 (91 percent) are small entities.
    10. Television and radio stations. The proposed rules would apply 
to television broadcasting licensees and radio broadcasting licensees. 
The SBA defines a television broadcasting station that has $10.5 
million or less in annual receipts as a small business. Television 
broadcasting stations consist of establishments primarily engaged in 
broadcasting visual programs by television to the public, except cable 
and other pay television services. Included in this industry are 
commercial, religious, educational, and other television stations. Also 
included are establishments primarily engaged in television 
broadcasting and which produce taped television program materials. 
There were 1,509 television stations operating in the nation in 1992. 
That number has remained fairly constant as indicated by the 
approximately 1,663 operating television broadcasting stations in the 
nation as of September 30, 2000. For 1992, the number of television 
stations that produced less than $10.0 million in revenue was 1,155 
establishments.
    11. The SBA defines a radio broadcasting station that has $5 
million or less in annual receipts as a small business. A radio 
broadcasting station is an establishment primarily engaged in 
broadcasting aural programs by radio to the public. Included in this 
industry are commercial, religious, educational, and other radio 
stations. Radio broadcasting stations, which primarily are engaged in 
radio broadcasting and which produce radio program materials are 
similarly included. The 1992 Census indicates that 96 percent (5,861 of 
6,127) radio station establishments produced less than $5 million in 
revenue in 1992. Official Commission records indicate that 11,334 
individual radio stations were operating in 1992. As of September 30, 
2000, Commission records indicate that 12,717 radio stations were 
operating.
    12. Thus, the rules may affect approximately 1,663 full power 
television stations, approximately 1,280 of which are considered small 
businesses. The proposed rules may also affect 12,717 full power radio 
stations, approximately 12,208 of which are small businesses. These 
estimates may overstate the number of small entities because the 
revenue figures on which they are based do not include or aggregate 
revenues from non-television or non-radio affiliated companies. There 
are also 2,395 low power television (LPTV) stations. Given the nature 
of this service, we will presume that all LPTV licensees qualify as 
small entities under the SBA definition.
    13. Cable systems. The proposed rules would also affect small cable 
systems. The SBA has developed a definition of small cable entities, 
which includes all such companies generating $11 million or less in 
revenue annually. This definition includes cable system operators, 
closed circuit television services, direct broadcast satellite 
services, multipoint distribution systems, satellite master antenna 
systems and subscription television services. According to Census 
Bureau data from 1992, there were 1,788 total cable and other pay 
television services and 1,423 had less than $11 million in revenue.
    14. The Commission has developed its own definition of a ``small 
cable system'' for purposes of the EAS rules. Cable systems serving 
fewer than 10,000 subscribers per headend are considered small cable 
systems and are afforded varying degrees of relief from the EAS rules. 
Based on our most recent information, we estimate that there are 8,552 
cable systems that serve fewer than 10,000 subscribers per headend. 
Consequently, we estimate that there are fewer than 8,552 small cable 
systems that may be affected by the rules proposed herein.
    15. The Communications Act also contains a definition of a small 
cable system operator, which is ``a cable operator that, directly or 
through an affiliate, serves in the aggregate fewer than 1 percent of 
all subscribers in the United States and is not affiliated with any 
entity or entities whose gross annual revenues in the aggregate exceed 
$250,000,000.'' The Commission has determined that there are 67,700,000 
subscribers in the United States. Therefore, we found that an operator 
serving fewer than 677,000 subscribers shall be deemed a small 
operator, if its annual revenues, when combined with the total annual 
revenues of all of its affiliates, do not exceed $250 million in the 
aggregate. Based on available data,

[[Page 16899]]

we find that the number of cable operators serving 660,000 subscribers 
or less totals 1,450. We do not request nor do we collect information 
concerning whether cable system operators are affiliated with entities 
whose gross annual revenues exceed $250,000,000, and thus are unable at 
this time to estimate with greater precision the number of cable system 
operators that would qualify as small cable operators under the 
definition in the Communications Act.
    16. Multipoint Distribution Systems. The Commission has defined 
``small entity'' for purposes of the auction of MDS frequencies as an 
entity that, together with its affiliates, has average gross annual 
revenues that are not more than $40 million for the preceding three 
calendar years. This definition of small entity in the context of MDS 
auctions has been approved by the SBA. The Commission completed its MDS 
auction in March 1996 for authorizations in 493 basic trading areas. Of 
67 winning bidders, 61 qualified as small entities. At this time, we 
estimate that of the 61 small business MDS auction winners, 48 remain 
small business licensees.
    17. MDS also includes licensees of stations authorized prior to the 
auction. As noted, the SBA has developed a definition of small entities 
for pay television services, which includes all such companies 
generating $11 million or less in annual receipts. This definition 
includes MDS and thus applies to MDS licensees that did not participate 
in the MDS auction. Information available to us indicates that there 
are approximately 392 incumbent MDS licensees that do not generate 
revenue in excess of $11 million annually. Therefore, we find that 
there are approximately 440 small MDS providers as defined by the SBA 
and the Commission's auction rules which may be affected by the rules 
proposed herein.
    18. Instructional Television Fixed Service. The SBA definition of 
small entities for pay television services also appears to apply to 
ITFS. There are presently 2,032 ITFS licensees. All but 100 of these 
licenses are held by educational institutions. Educational institutions 
are included in the definition of a small business. However, we do not 
collect annual revenue data for ITFS licensees, and are not able to 
ascertain how many of the 100 non-educational licensees would be 
categorized as small under the SBA definition. Thus, we tentatively 
conclude that at least 1,932 ITFS are small businesses and may be 
affected by the proposed rules.
    19. Description of Projected Reporting, Recordkeeping, and Other 
Compliance Requirements. There are no reporting or recordkeeping 
requirements proposed in the NPRM. The proposals set forth in the NPRM 
are, for the most part, intended to enhance the performance of the EAS 
during state and local emergencies. We emphasize that participation in 
state and local EAS activities remains voluntary and that we do not 
wish to impose additional costs or burdens on broadcast stations and 
cable systems that choose not to participate in state and local area 
EAS plans. The NPRM seeks comment on suggested additions and revisions 
to the EAS digital header codes used in the transmission of state and 
local EAS alerts. In addition, the NPRM proposes to increase the time 
period for retransmitting Required Monthly Tests of the EAS system and 
to reduce the modulation level for EAS codes. These proposals would 
lessen operational burdens on EAS participants. The NPRM also seeks 
comment on various suggestions by NWS and SBE to revise EAS operational 
and equipment requirements.
    20. Steps Taken to Minimize Significant Economic Impact on Small 
Entities, and Significant Alternatives Considered. The RFA requires an 
agency to describe any significant alternatives that it has considered 
in reaching its proposed approach, which may include the following four 
alternatives: (1) The establishment of differing compliance or 
reporting requirements or timetables that take into account the 
resources available to small entities; (2) the clarification, 
consolidation, or simplification of compliance or reporting 
requirements under the rule for small entities; (3) the use of 
performance, rather than design, standards; and (4) an exemption from 
coverage of the rule, or any part thereof, for small entities.
    21. In setting forth the proposals contained in this NPRM, we have 
attempted to minimize the burdens on all entities. We seek comment on 
the impact of our proposals on small entities and on any possible 
alternatives that would minimize the impact on small entities.
    22. Federal Rules that Duplicate, Overlap, or Conflict with the 
Proposed Rules. None.

B. Ex Parte Presentations

    23. This NPRM is a permit-but-disclose notice and comment 
rulemaking proceeding. Ex parte presentations are permitted, except 
during the Sunshine Agenda period, provided they are disclosed as 
provided in the Commission rules.

C. Filing of Comments and Reply Comments

    24. Pursuant to Secs. 1.415 and 1.419 of the Commission's rules, 47 
CFR 1.415 and 1.419, interested parties may file comments on or before 
June 11, 2001, and reply comments on or before July 11, 2001. Comments 
may be filed using the Commission's Electronic Comment Filing System 
(ECFS) or by filing paper copies.
    25. Comments filed through ECFS can be sent as an electronic file 
via the Internet to http://www.fcc.gov/e-file/ecfs.html. Generally, 
only one copy of an electronic submission must be filed. If multiple 
docket or rulemaking numbers appear in the caption of this proceeding, 
however, commenters must transmit one electronic copy of the comments 
to each docket or rulemaking number referenced in the caption. Parties 
may also submit an electronic comment by Internet e-mail. To obtain 
filing instructions for e-mail comments, commenters should send an e-
mail to [email protected], and should include the following words in the 
body of the message, ``get form your e-mail address.'' A sample form 
and instructions will be sent in reply. Or you may obtain a copy of the 
ASCII Electronic Transmittal Form (FORM-ET) at http://www.fcc.gov/e-file/email.html.
    26. Parties who choose to file by paper must file an original and 
four copies of each filing. If commenters want each Commissioner to 
receive a personal copy of their comments, they must file an original 
and nine copies. Also, if more than one docket or rulemaking number 
appears in the caption of this proceeding, commenters must submit two 
additional copies for each additional docket or rulemaking number. All 
filings must be sent to the Commission's Secretary, Magalie Roman 
Salas, Office of the Secretary, Federal Communications Commission, 445 
12th Street, SW., Room TW-A325, Washington, D.C. 20554. Copies of all 
filings are available for public inspection and copying during regular 
business hours at the FCC Reference Information Center, 445 12th 
Street, SW., Room CY-A257, Washington, D.C. 20554.

D. Initial Paperwork Reduction Act Analysis

    27. This NPRM does not propose a new or modified information 
collection.

[[Page 16900]]

E. Ordering Clauses

    28. Pursuant to the authority contained in Sections 1, 4(i) and 
(o), 303(r), 624(g) and 706 of the Communications Act of 1934, as 
amended, 47 U.S.C. 151, 154(i) and (o), 303(r), 554(g) and 606, the 
NPRM in EB Docket No. 01-66 is adopted.
    29. The FCC's Consumer Information Bureau, Reference Information 
Center, shall send a copy of this NPRM, including the IRFA, to the 
Chief Counsel for Advocacy of the Small Business Administration in 
accordance with the Regulatory Flexibility Act.

List of Subjects in 47 CFR Part 11

    Radio, Television.

Federal Communications Commission.
William F. Caton,
Deputy Secretary.
[FR Doc. 01-7613 Filed 3-27-01; 8:45 am]
BILLING CODE 6712-01-P